0001209191-13-012380.txt : 20130228 0001209191-13-012380.hdr.sgml : 20130228 20130228160824 ACCESSION NUMBER: 0001209191-13-012380 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130226 FILED AS OF DATE: 20130228 DATE AS OF CHANGE: 20130228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FROST PHILLIP MD ET AL CENTRAL INDEX KEY: 0000898860 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 13652075 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137-3227 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Castle Brands Inc CENTRAL INDEX KEY: 0001311538 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 000000000 STATE OF INCORPORATION: FL FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10168 BUSINESS PHONE: 646-356-0200 MAIL ADDRESS: STREET 1: 122 EAST 42ND STREET STREET 2: SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10168 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Gamma Investments Trust CENTRAL INDEX KEY: 0001380896 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 13652076 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 FORMER NAME: FORMER CONFORMED NAME: Frost Gamma Investment Trust DATE OF NAME CHANGE: 20061113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Nevada Investments Trust CENTRAL INDEX KEY: 0001464124 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32849 FILM NUMBER: 13652074 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-02-26 0 0001311538 Castle Brands Inc ROX 0000898860 FROST PHILLIP MD ET AL 4400 BISCAYNE BOULEVARD SUITE 1500 MIAMI FL 33137 1 0 1 0 0001380896 Frost Gamma Investments Trust 4400 BISCAYNE BOULEVARD SUITE 1500 MIAMI FL 33137 0 0 1 0 0001464124 Frost Nevada Investments Trust 4400 BISCAYNE BOULEVARD SUITE 1500 MIAMI FL 33137 0 0 1 0 Common Stock 2013-02-26 4 P 0 600 0.27 A 23311692 I Frost Gamma Investments Trust Common Stock 2013-02-27 4 P 0 52598 0.27 A 23364290 I Frost Gamma Investments Trust Common Stock 2013-02-28 4 P 0 46802 0.27 A 23411092 I Frost Gamma Investments Trust Common Stock 599776 D Common Stock 9370790 I Frost Nevada Investments Trust The securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of the Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. /s/ Phillip Frost, M.D. 2013-02-28 FROST GAMMA INVESTMENTS TRUST by: /s/ Phillip Frost, MD, Trustee 2013-02-28 FROST NEVADA INVESTMENTS TRUST by: /s/ Phillip Frost, MD, Trustee 2013-02-28 EX-99 2 attachment1.htm EX-99 DOCUMENT

JOINT FILER INFORMATION

NAME: 				Frost Gamma Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Castle Brands Inc. (ROX)

Date of Event Requiring
Statement:			February 26, 2013

				FROST GAMMA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee


NAME: 				Frost Nevada Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Castle Brands Inc. (ROX)

Date of Event Requiring
Statement:			February 26, 2013

				FROST NEVADA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee